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About the Role
We seek a compliance professional with foundational compliance experience in the financial services industry for our Japan entity. The Compliance Analyst will ensure effective regulatory compliance arrangements for our Japan business, working within the APAC Compliance team and reporting to the Chief Compliance Officer for Asia Pacific.
Responsibilities
- Assist with regulatory risk assessment, conduct compliance testing and monitoring, and facilitate third-party internal control reviews.
- Provide compliance advice and support on sales and marketing to client-facing and marketing teams and review marketing materials.
- Provide compliance advice to all other business functions on day-to-day matters and resolve compliance issues.
- Draft and update local policies and procedures to reflect local requirements and global policies.
- Design and deliver compliance training to cover additional local regulations.
- Complete regular and ad hoc local regulatory filings and surveys (e.g. FSA, IMAJ, T2FIFA).
- Participate in department-, office-, or firm-wide projects as assigned.
Requirements
- Around 8 to 10 years of financial industry experience, including at least 5 years related to Compliance.
- Good understanding of the asset management business is a plus.
- ITM experience strongly preferred.
- JSDA internal control manager qualification is a plus.
- Strong ethics and professional judgment.
- Proactive, self-motivated and able to work independently and collaboratively.
- Good analytical skills and attention to detail.
- Intellectual curiosity and creative problem-solving skills.
- Technology-savvy, with the ability to adopt emerging technologies, including AI and automation.
- Good English language skills.
Skills
- Compliance
- Financial Services
- Asset Management
- ITM
- JSDA
- Ethics
- Professional Judgment
- Analytical Skills
- Attention to Detail
- Problem-Solving
- AI
- Automation
- English Language
Location
- Tokyo
Work Type
- Hybrid
Experience Level
- 8-10 years
- 5+ years in Compliance
About the Company
- Wellington Management offers comprehensive investment management capabilities across global capital markets.
- Our investment solutions are tailored to institutional clients in over 60 countries.
- We leverage proprietary research and a collaborative culture.
- As a private partnership, we foster a long-term view aligned with our clients.
- Tracing our history to 1928, Wellington Management is one of the world’s largest independent investment management firms.
- Our innovative investment solutions are built on proprietary, independent research.
- We are committed to attracting a talented and diverse workforce and fostering an open, collaborative culture of inclusivity.
- We believe multiple perspectives lead to more informed investment and business decisions.
Equal Opportunity
- As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law.
- As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.